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George Warner Formerly With Chelsea Financial Services And Dominion Investor Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is George Warner formerly with Chelsea Financial Services?

George Warner (CRD #2300570) who was formerly registered with Chelsea Financial Services and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Chelsea Financial Services, George Warner was associated with Dominion Investor Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

George Warner also had his share of regulatory problems.  In March 2021, he was investigated by FINRA into his potential participation in undisclosed private securities transactions.  Apparently, George Warner, refused to produce information or documents requested by FINRA and consented to the sanction of a permanent bar from any further association with any member firm in any capacity.

George Warner Customer Complaints

George Warner has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of George Warner’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Chelsea Advisory Services and Chelsea Financial Services for investment losses caused by George Warner’s alleged misconduct.

Allegations Against George Warner

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Customer alleged that George Warner made an error in connection with the purchase of CIT bonds versus Citi Corp. bonds.
  • Selling away (unauthorized transactions, without approval of brokerage firm) by George Warner.

George Warner Red Flags & Your Rights As An Investor

Of course, George Warner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of George Warner at Chelsea Financial Services and Dominion Investor Services on alert to review carefully the activity and performance of their accounts and question whether George Warner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Chelsea Financial Services and Dominion Investor Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Chelsea Financial Services Due To George Warner

If you have questions about Chelsea Financial Services, Dominion Investor Services, and/or George Warner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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